N.A.S.D. AHARD NATICMAL ASSOCIATICN OF SECURITIES DEAI£RS In tte Matter of tte Arbitxation Between Maz(3ielI^G^^teson 90-01794 Prudsntial-Bacte Securitiee, Inc. Ronald Polanski For Claimant: Raymond Glickman, Eeq. of Zief, Diment & Glickman, Inc. For Respondent: Gerald J. Koualski of Pmdential-Bacte Securities, Inc. Statement of Claim filed: JUna 25, 1990 Claimant's Sutaniaaion Agrsamsnt signed oni Auguat 2, 1990 Statement of Anawar filed by

^.Q-^^T N.A.S.D. AWARD MATICNAL ASSOCIATICN OF SECURITIES DEALERS In trie Matter of tte Arbitration Between Sol A. Leshin, Individually; Sol A. Leshin, as Trustee of tte Evelyn H. Leshin Trust dated 8/16/63; Sol A. Leshin, as Trustee of tte Evelyn H. Leshin Trust dated 11/16/67; Sol A. Leshin, as Trustee of tte Evelyn H. Leshin Trust dated 3/9/84; Constance Leshin, individually and Janet Leshin Lytnan, individually V. Dean Witter Reynolds, I

M fl c n atmoTk Arbitration ® NKTIGNAL ASSOCUVnCN OF SECURITIES DEAI£RS In tte Matter of tte Arbitration fietweoi Nadenai Aaiodatlon ef Saeuntiat Oaiiara. inc. NASD Financial Center 33 Whitehall Straet New York. New Yorit lOOC Robert & Elaine Scteiber vs 90-00880 Fechtor DetMiler & Ocapany Richard Fechtor Heazd before tte Maefcers of tte Arbitzation Panel: Susan F. Drogin, Esq. afiUCOBUttlX _. Ctelzperson • Pvdali

Arbitration 5 N.A.S.O. ANARD NATIONAL ASSOCIATION OF SECURITIES OEAI£BS In the Matter of the Arbitration Between Hmr> nf ril8lnipnr.ffii) VctosxX & Sylvia Both National Assoelation of Seeuritioa Otalan, tnc. One East Sroward Boulevard Suite 1000 Ft. Lauderdale. Rorida 33301 (305) 522-7391 PrudmitiAl-Bacte Securities Inc. Case No. 90-00927 Hsard before tte members of tte Arbitration Panel: Casey W. Mills, Esq. Judy Ave

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Sue Anne Canada Claimant(s) vs. PaineWebber, Ine. and Stephen Connors NOTICE OF ARBITRATION ANARD 90-01382 Respondent(s) CASE SUMMARY Claimant(s) Sue Anne Canada alleged that Respondent(s) PaineWebber, Inc. and Stephen Connors engaged in unsuitable and unauthorized trading. Respondent(s) maintain that claimant stated that her primary inves

N.A.S.D. AHARD NiVnCNAL ASSOCIATICN OF SECURITIES TEKIS^S In the Matter of the Aibitration Between Israel & Molly Selznick Shearson Lelman Hutton, Inc. Emesto Pataky Heard before tha Aibitratiion Panel: Randy R. Freecknan, Esq. Gary L. Stark Jatfy Avey Case NO. 90-01395 Public Industry Public This matter VDBS initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x X Joan E. Schrauth x Claimant x X CASE NO. vs. X 90^00659 X Shearson Lehman Hutton, Inc., x AWARD and John Belani x Respondents x £ CASE SVMMARY claimant, Joan E. schrauth ("Schrauth"), alleged that tlie Respondents, John Belani. ("Belani") and Shearson Lehman Hutton, Inc. ("Shearson"), caused her account to be Invested in unsuitab

NATIONAL ASSOCIATION OP SECURITIES DEALERS NOTICE OP ARBITRATION AHARO 90-00798 In the Matter of the Arbitration Between Irene Fletcher Claimant(s) vs. Dillon Securities, Jean Harding and Conrad Lysiak Respondent(s) CASE SUMMARY Claiinant(s) Irene Fletcher alleged that Respondent (s) Dillon Securities, Jean Harding and Conrad Lysiak misrepresented the return to be received on securities sold to Claimant, failed to follow

Award NASD Dispute Resolution In the Matter ofthe Arbitration Between: Andrew J. Ettinger (Claimant) vs. Janney Montgomery Scott, LLC, Joseph Patrick Fentor, Robert John Bennett and Howard Bruce Scherer (Respondents) Case Number: 04-08142 Hearing Site: New York. New York Nature ofthe Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Andrew J. Ettinger hereinafter referred to as "Claimant": Neal Brickman, Es

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. \ CASE: 01-04992 Maria Di Pierro, claimant vs. Barren Chase Securities, Inc., Robert T. Kirk, Rodger Blundell, John P. Sullivan, respondents. ATTORNEYS: For Claimant appeared Harry S. Miller, Esq., of the firm Perkins, Smith & Cohen, LLP, Boston, MA. Respondent Barron Chase Securities, Inc., did not appear. Respondent Robert T. Kirk did not appear. Respondent Rodger J. Blundell appe